Compliance
Employee Disclosure Management- Our hosted and web-based Employee Disclosure Management solution ensures: employee receipt of the correct disclosure forms, return and review of completed forms, form-completion status, reminder notifications, and document archiving. Find out more.
- Our hosted Employee Account Review solution simplifies and automates the management and review of personal trades. Find out more.
- Patrina serves as a third party SEC 17a-3 and 17a-4 compliant data management service.
- Fast and accurate retrieval for audit support in addition to the fulfillment of specific regulatory requests for information.
- Support and staff extension for time-constrained compliance officers.
- Email selection and assignment based on a specified percentage of client emails or emails containing "red flag" key words.
- Generating queries to search reports for exceptions.
"They are extremely responsive and they are trustworthy...those are the most important things to me."
- Mike Blumenthal, Vice President and CTO, David Lerner